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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: October 1, 2012

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

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Sep 29Examination ManagerFinraAtlanta, GA

We Work to Protect Investors.Join our Team. FINRA is seeking a well-qualified individual for our Examination Manager opening in our Atlanta, GA office.To be considered for this... more

Sep 29Personal Banker - Wilshire and Beverly - Beverly Hills, CA ((FINRA Series 6/63 & CA Insurance LicensChaseBeverly Hills, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,200 locations where our... more

Sep 29Financial Advisor - DE/PA Life/Health, FINRAVolt Information SciencesPittsburgh, PA

Financial Advisor - DIRECT HIRE - Pittsburgh, PA With DE or PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 PAY RATE: SALARY (W2) OR STRAIGHT... more

Sep 28Financial Advisor - DE/PA Life/Health, FINRA - Pittsburgh, PVolt Information SciencesPittsburgh, PA

Financial Advisor - DE/PA Life/Health, FINRA - Pittsburgh, PA Posted on:09/27/12 Job Number: 300398-8907-1-309828 Add to Cart Email to a Friend Location: Pittsburgh, PA... more

Sep 28Compliance Examiner - Member RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual forfuture Compliance Examiner opportunities in Chicago, IL . To be considered for this... more

Sep 28IS Audit Project Leader II/Auditor IIIFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our IS Auditor III/Audit Project Leader II opening in Rockville, MD . Level offered... more

Sep 28Financial Advisor - DE/PA Life/Health, FINRA - Williamsport,Volt Information SciencesWilliamsport, PA

Financial Advisor - DE/PA Life/Health, FINRA - Williamsport, PA Posted on:09/27/12 Job Number: 300398-8907-1-309829 Add to Cart Email to a Friend Location: Williamsport, PA... more

Sep 24Financial Operations ExaminerFinraNew York, NY

FINRA is seeking a well qualified individual for our Financial Operations Examiner opening in New York, NY. Conducts on-site examinations and assesses Floor member and member... more

Sep 24Regulatory Analyst - Market Regulation, BXFinraNew York, NY

The Regulatory Analyst conducts routine review and investigations of unusual market activity for evidence of violations of applicable securities laws, rules and regulations... more

Sep 24Director, Corporate RecordsFinraGaithersburg, MD

The Director of Corporate Records (DCR) is responsible for senior level oversight of FINRA's Records Management Program. With guidance from the FINRA Records Management Board, the... more

Sep 24Director II, Fixed Income RegulationFinraWashington, Dc

The Director, Fixed Income Regulation, working independently, provides leadership, oversight and supervision of FINRA's regulatory program for fixed income securities with a... more

Sep 21Public Offerings AnalystFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Public Offerings Analyst opening in Rockville, MD . To be considered for this... more

Sep 20Regulatory Analyst - Market Regulation, Short Interest - RockvilFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 19Personal Banker - West Los Angeles, CA (FINRASeries 6/63 & CA Insurance Licenses Preferred)ChaseWest Los Angeles, CA

Play a vital role in the customer banking experience at Chase! Aspart of JPMorgan Chase, a leading global financial services firm,Chase has over 5,200 locations where our bankers... more

Sep 17Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeNew Jersey

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Sep 14Financial Advisor - PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesJohnstown, PA

Financial Advisor - DIRECT HIRE - Johnstown, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct Hire... more

Sep 14Legal Counsel - Market RegulationFinraChicago, IL

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Legal Counsel opening in Chicago, IL . To be considered for this position, please... more

Sep 12Financial Advisor PA Life/Health, FINRA - DIRECT HIREVolt Information SciencesWilliamsport, PA

Financial Advisor - DIRECT HIRE - Williamsport, PA With PA Life and Health Insurance Licenses FINRA Series 6 and/or 7 AND 63, 65, and/or 66 Volt Workforce Solutions has a Direct... more

Sep 12Enterprise Architect - New York, NY orFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well qualified individual for our Enterprise Architect opening in New York, NY or Rockville, MD. To be considered... more

Sep 11Compliance Examiner - Market Regulation, TMMS OptionsFinraNew York, NY

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 11Regulatory Analyst - Market Regulation, Trading Practices - RockFinraRockville, MD

We Work to Protect Investors. Join our Team. FINRA is seeking a well-qualified individual for our Regulatory Analyst opening in Rockville, MD . To be considered for this position,... more

Sep 07Director, Corporate RecordsFinra - Financial Industry Regulatory AuthorityRockville, MD

We Work to Protect Investors Join our Team FINRA is seeking a wellqualified individual for our Director Corporate Records opening in Rockville MD To be considered for this... more


 
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Previous Entries
March 5, 2015
In the fiery afterglow of a nasty post-employment split, former employees and former employers are apt to do battle over underpaid or unpaid bonuses, ... Read On
March 4, 2015
I frequently criticize FINRA for trying to land the knock-out punch on the industry's small fry when there isn't the same blood-lust displayed with so... Read On
March 3, 2015
A potential graveyard for whistleblower claimants under Dodd Frank is 17 CFR 240.21F-4(b)(4). As set forth in the Rule, officers, directors, trus... Read On
March 3, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
March 2, 2015
Few queries get my blood more agitated than those in which a client asks my thoughts about the potential acquisition of a so-called Shell Company as p... Read On
March 2, 2015
An opportunity presents itself for you to get involved in some business deal outside of your broker-dealer.  The way you see it, your role won't ... Read On
February 28, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And JudgmentsIf you were lucky to dodge a regulatory bullet, don't count on your def... Read On
February 27, 2015
If you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory se... Read On
February 26, 2015
Sometimes a cigar is a cigar. Sometimes a fish is a fish -- or a grouper. Sometimes, however, federal prosecutors would have you believe that a fish i... Read On
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